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The Consumer Federation of America is seeking advisor horror stories from retail investors to fight industry objections to having the Department of Labor developing a fiduciary rule.
LPL Financial is forecasting that for 2015, stocks will be up for the seventh year in a row at a 5- to 9-percent clip, with bonds flat.
Winners were chosen from nearly 400 applicants and will receive funding to implement their business growth plans.
RCS Capital Corp. said today that some broker-dealers have resumed sales of products distributed by RCAP’s wholesale distribution business.
The brokerage firm will pay a $2.44 million penalty and admit to wrongdoing in a deal to settle civil charges over shoddy risk controls that let thousands of overseas traders gain access to U.S...
A Finra arbitration panel rules in favor of the retirees, who say they were told a "total return" model would increase their S&P 500 gains while reducing the risks of trading equities.
The Advanced Planning Group is a team of legal, tax and estate planning experts that provide support to advisors.
The company has agreed to settle a claim that it unlawfully made brokers who left the firm forfeit bonuses that were deferred as part of their retirement plans.
Morgan Stanley, the world's largest brokerage firm, fired the first shot in Wall Street's pay formula wars by telling brokers more of their pay will be deferred in 2015 than in the past.
Broker-dealers probably won’t be able to kill Finra’s controversial CARDs proposal, so they should work to mold it to their liking, according to an industry compliance executive.
Financial Advisor Blogs
Portfolio Manager Insights
Gary Antonacci packs an enormous amount of challenging detail into his new book on an investing strategy he developed more than 40 years ago and still supports today, says our book reviewer. + Read more
There’s an intricate connection between the two that advisors should understand, says columnist Robert Laura. + Read more